Field supervision analyst

Responsibilities

• Responsible for Tier 1 supervision, approval of daily, monthly, quarterly trade reports.
• Review and approve new accounts and KYC updates.
• Communicate with advisor teams regarding compliance inquiries.
• Assist with investigations related to complaints and regulatory inquiries.
• Assist the firm in resolving compliance issues with respect to regulatory guidelines and interpretation of regulations.
• Perform daily, monthly, and quarterly reviews of trades, suitability, and exception queues under defined thresholds.
• Review and process new accounts and KYC updates; ensure documentation completeness and accuracy.
• Maintain clear records of supervisory decisions and evidence; meet service‑level timelines.
• Identify and escalate any areas of non‑compliance.
• Respond to routine advisor inquiries related to supervisory processes and requirements.
• Provide guidance usi...